NG
Nancy A. Guillen
CREATIVE FINANCIAL DESIGNS
MORRISTOWN, TN 37814
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CRD#: 5601761
NG
Professional summary
Nancy Ann Guillen, who also goes by Nancy Ann Diaz ^^, Nancy A Guillen, Nancy Ann Masters ^^, Nancy Ann Stephens ^^, is a registered financial advisor currently at CREATIVE FINANCIAL DESIGNS, INC. located in Morristown, Tennessee and CFD INVESTMENTS, INC. located in Morristown, Tennessee.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nancy has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Ann Diaz ^^ | Nancy A Guillen | Nancy Ann Masters ^^ | Nancy Ann Stephens ^^
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) CREATIVE FINANCIAL DESIGNS-IAR 2) SOUTHERN HERITAGE INVESTMENTS AND PLANNING FINANCIAL PROFESSIONAL, Insurance sales-Investment Related-Morristown, TN-Owner-
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Ann Guillen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 3, 2013 - Present
CREATIVE FINANCIAL DESIGNS, INC.
Office #1: 301 E. 1st North St., Morristown, TN 37814RIA
CRD#: 109032
MORRISTOWN, TN
Current
September 3, 2013 - Present
CFD INVESTMENTS, INC.
Office #1: 301 E. 1st North St., Morristown, TN 37814BD
CRD#: 25427
Morristown, TN
Past
July 19, 2012 - August 26, 2013
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
MORRISTOWN, TN
Past
July 19, 2012 - August 26, 2013
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
MORRISTOWN, TN
Past
January 5, 2009 - July 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MORRISTOWN, TN
Past
December 11, 2008 - July 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MORRISTOWN, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/26/2022)
RR
Florida(9/3/2013)
RR
New York(9/3/2013)
RR
Tennessee(9/3/2013)
IAR
Tennessee(9/3/2013)
RR
Texas(4/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2704 S Goyer Rd, Kokomo, IN 46902
Mailing Address
P.o. Box # 2244, Kokomo, IN 46904-2244
Phone number
(765) 453-9600
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032Morristown, TN 37814TRUST BUT VERIFY
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